position called otherwise who take the highest responsibility in the line of work relating to capital markets, the exemption will be given to only one [1] person for each securities company; or (2) being
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “ executive ” shall have the same
Procedures for Brokerage and Dealing of Securities Which Are Not Debt Instruments (No. 2) dated 25 March 2009. Clause 3 In this Notification, unless otherwise specified: (1) “executive” shall have the same
otherwise) whatsoever for any loss howsoever arising from any use of this presentation or its contents or otherwise arising in connection therewith. Individual situations and local practices and standards may
meaning in lieu of a statement, unless otherwise stated in this Notification. 2 Clause 4 A prospectus shall contain 3 parts as follows: (1) the important information section; (2) the mutual fund information
independently [ii] and shall perform according to such measure unless otherwise specified by the SEC Office. Clause 13 6 A trustee may hold units of the REIT for which it is a trustee at an amount not exceeding
), together with the notice of the shareholders’ meeting, to the following persons, upon a lapse of seven days from the date the Office receives the documents under (1), unless otherwise specified by the Office
paragraph shall not be applicable to the following cases except where the authority considers otherwise: (1) where the proceedings under the first paragraph has completed before the SEC proposes the case to
private fund management; “connected person” 3 means the following persons unless otherwise prescribed herein: (1) a person with a relationship or connection to a management company or a fund according to